Securites Fraud Attorneys SHEPHERD, SMITH & EDWARDS, LLP
stock fraud online consultations
Skip to main content
about Our Stock Attorneys contact stock lawyers securities arbitration questions Securities fraud news Broker Misconduct Resources and links about investment protection en Espanol
Free Consultation

or call

Raymond James Financial Services, Inc.

Raymond James Financial Services, Inc. (CRD #6694, St. Petersburg, Florida) received a censure and fine of $12,500. According to the findings, the firm failed to report accurately municipal principal transactions. The regulators also found that the firm failed to adopt, maintain, and enforce supervisory procedures reasonably designed to ensure compliance with Municipal Securities Rulemaking Board (MSRB) rules relating to trade reporting in that it failed, among other things, to properly test municipal trade reports for accuracy. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C07040085)

Did Raymond James Financial Services, Inc. manage your investments?



If you would like one of our specialists to provide a free consultation, please let us know how to reach you:

 Your Name

 Your Phone

 Your Question / Situation